Job Title: Compliance Manager-Premier Banking & NDIP
Job Responsibilities:
- Conduct compliance risk oversight of assigned business units and/or functions.
- Execute compliance risk management activities to ensure adherence to the Compliance Risk Management Policy and Framework.
- Maintain an understanding of all applicable laws, rules, and regulations relevant to coverage areas and provide regulatory guidance to assigned business unit and/or function associates.
- Review regulatory changes and assess their impact on assigned business units and/or functions.
- Manage compliance risk management communications, training, documentation, procedures, and processes.
- Monitor and communicate compliance risk management industry developments.
- Implement strategies and methods related to the compliance risk management framework, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.
- Assess process, procedure, and control documentation and other related compliance issues and documentation to ensure they are accurate and easily understood by audit and/or external regulatory agencies.
- Consult with business and/or functional units with respect to the design and implementation of remediation efforts as needed.
Education and Experience Information:
Required Qualifications:
- Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.
- Two years of compliance-related experience.
- Five years of financial institution experience.
- Demonstrated working knowledge of standard compliance concepts, practices, policies, and related state and federal laws.
- Detail-oriented with strong analytical skills.
- Strong communication, presentation, and facilitation skills; proven ability to interact with all levels of management.
- Leadership skills to guide and mentor the work of less experienced compliance consultants and analysts.
Preferred Qualifications:
- Juris Doctor (JD) or Master's degree.
- Certified Regulatory Compliance Manager (CRCM) or Completion of ABA Compliance School.
- Five years of consumer compliance experience.
- Experience in Wealth and/or mass affluent client channels.
- Previous investment compliance experience.
Salary Information:
The text does not provide specific salary information for this position.
Benefits Information:
All regular employees working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may vary by division. The company offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan. Employees receive no less than 10 days of vacation (prorated based on date of hire and employment status) during their first year, along with 10 sick days (also prorated), and paid holidays. Depending on the position and division, this job may also be eligible for the company's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan.
Equal Opportunity Employment:
The company is an Equal Opportunity Employer that does not discriminate based on race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. The company is a Drug-Free Workplace.
